Gu, Andrew Ye Yan 顧燁彥

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 BARCLAYS CAPITAL ASIA LIMITED Rep Dealing in securities 2007-04-09 2008-02-29
2 BEAR STEARNS ASIA LIMITED Rep Dealing in securities 2008-03-12 2009-11-23
Rep Dealing in futures contracts 2008-04-30 2009-11-23
3 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED Rep Asset management 2017-09-15 2019-04-02
4 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED Rep Advising on futures contracts 2017-07-19 2019-04-02
Rep Dealing in futures contracts 2017-07-19 2019-04-02
5 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Rep Advising on securities 2017-07-19 2019-04-02
Rep Dealing in securities 2017-07-19 2019-04-02
6 Citigroup Global Markets Asia Limited Rep Dealing in securities 2005-02-01 2007-03-09
7 CTI Capital Hong Kong Limited Rep Advising on securities 2015-03-16 2015-10-12
Rep Asset management 2015-03-16 2015-10-12
8 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Dealing in futures contracts 2008-06-18 2010-03-25
Rep Dealing in securities 2008-06-18 2010-03-25
Rep Advising on futures contracts 2008-07-14 2010-03-25
Rep Advising on securities 2008-07-14 2010-03-25
9 SG SECURITIES (HK) LIMITED Rep Dealing in securities 2015-12-08 2017-05-12
10 Standard Chartered Securities (Hong Kong) Limited Rep Dealing in securities 2012-07-19 2013-05-07
Rep Advising on futures contracts 2013-02-14 2013-05-07
Rep Dealing in futures contracts 2013-02-14 2013-05-07
11 THORNBURG INVESTMENT MANAGEMENT (ASIA) LIMITED RO Dealing in securities 2020-10-20
RO Asset management 2022-09-30

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